B V. Pater
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
B Vincent Pater, who also goes by VInce Pater, was a registered financial professional .
B is a previously registered financial professional and started their career in finance in 1973. B had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1989 - January 3, 2000
CAPITOL SECURITIES & ASSOCIATES, INC.
May 20, 1988 - April 5, 1989
J. T. MORAN & CO., INC.
April 20, 1983 - May 20, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
April 22, 1977 - April 18, 1983
CORNERSTONE FINANCIAL SERVICES, INC.
October 4, 1976 - June 6, 1977
ENTERPRISE FUND DISTRIBUTORS, INC.
March 9, 1973 - November 16, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
March 9, 1973 - November 16, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1973 - November 16, 1983
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/1/1973
Registered Representative ExaminationCurrent Firm
CAPITOL SECURITIES & ASSOCIATES, INC.
CRD#: 7278 / SEC#: , 8-21058
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
